Andrew L. Adams
Andrew L. Adams
Andrew L. Adams
Biography
Andrew focuses on representing broker-dealers, registered investment advisers, insurance companies, international banks, and other financial services institutions in securities litigation and regulatory matters. Andrew has extensive experience responding to regulatory investigations and other inquiries initiated by the SEC, FINRA, the IRS, and state regulatory authorities. He also assists the firm’s broker-dealer clients in customer disputes adjudicated by FINRA arbitration panels and in state courts.
When representing clients Andrew utilizes his experience in both government and private practice to best serve the diverse needs of financial services companies. This includes approaching matters with a deep understanding of the legal, business, compliance, and public policy issues involved.
Andrew is familiar with the most current legal technology platforms available, particularly in the field of eDiscovery. By leveraging technology in litigation, internal investigations, and regulatory inquiries, Andrew is able to address the needs of financial services clients at both a high level of quality and cost effectiveness.
Prior to joining the firm, Andrew served as Deputy Counsel for the Missouri Secretary of State focusing on securities regulation, corporate structuring and compliance, legislative and regulatory affairs, commercial transactions, elections law, and records retention. While serving in the public sector, he conducted internal audits, represented the state in civil litigation matters and administrative law hearings, and responded to public records requests and subpoenas.
In addition to his legal work, Andrew is part of the firm’s St. Louis Public Schools tutoring program.
Professional Affiliations
- The Bar Association of Metropolitan St. Louis (BAMSL)
Admissions
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Missouri, 2013
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Illinois, 2012
Education
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Saint Louis University, J.D., 2012
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University of Missouri-Columbia, B.A., 2009
Related Practice Areas
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Business & Commercial Disputes
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Antitrust Class Actions
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Shareholder Securities and Mergers & Acquisitions
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Food, Ag & Nutrition (Class Actions)
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Broker-Dealer and Investment Advisor Regulatory Enforcement, Disputes and Investigations
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Employment Class & Collective Actions
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Sports (Class Actions)
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Data Privacy, Telecommunications & Collections
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Toxic Tort
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Litigation & Dispute Resolution
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Financial Services
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Finance
Experience
- Assist a leading broker-dealer with an SEC Sweep involving the sale and supervision of structured products.
- Assist a leading broker-dealer with a FINRA investigation regarding the sale of exchange traded products.
- Assist a leading broker-dealer with a FINRA investigation into supervision issues related to Unit Investment Trusts.
- Assist a leading international financial services firm conduct an internal investigation into violations of cryptocurrency policies.
- Assist an independent financial advisory firm draft a settlement agreement and assess any securities industry reporting obligations.
- Represent a financial services firm in state court for alleged breach of contract and fiduciary duty.
- Represent a major broker-dealer in successfully enforcing compensation agreements with registered representatives.
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